UBS FINANCIAL SERVICES INC.

There are Recent Customer Complaints with Broker James Hilton Sr. in Firm UBS Financial Services INC.

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hilton Sr. (Hilton Sr.), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Hilton Sr. recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 23, 2023.

Time frame: Unspecified \, Allegations: Claimant alleges her financial advisor’s recommendation that she remain invested in equities instead of selling to cash was unsuitable. Claimant further alleges that her financial advisor purchased an annuity without her knowledge and subsequently borrowed against the annuity.

Broker John Breon in UBS Financial Services INC. Firm Has Customer Complaint

July 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Breon (Breon), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Breon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on October 23, 2023.

Time Frame: August 15th 2023\, \, What were the allegations against the individual? Client verbally alleged he gave instructions to liquidate his managed account and those instructions were not followed.

There are Recent Customer Complaints with Broker Daniel Violante in Firm UBS Financial Services INC.

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Violante (Violante), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Violante recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2023.

Time frame: March 2021 – November 2023 \, \, Allegations: Claimants allege that financial advisor recommended a Muni bond portfolio with long maturities, exposing them to interest rate risk. Claimants also allege that UBS should not have held the bonds in a fee-based account, and recommended an unsuitable line of credit to pay taxes claimants owed on the sale of their business.

There are Recent Customer Complaints with Broker Pedro Martinez Parsi in Firm UBS Financial Services INC.

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Martinez Parsi (Martinez Parsi), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Parsi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $483,000.00 on November 29, 2023.

Time frame: Unspecified.\, \, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Broker Frank Carrasco in UBS Financial Services INC. Firm Has Customer Complaint

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Carrasco (Carrasco), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Carrasco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $800,000.00 on December 01, 2023.

Time frame: 2009-Present\, \, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that their UBS account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.

There are Recent Customer Complaints with Broker Barry Schwartz in Firm UBS Financial Services INC.

June 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on December 05, 2023.

Time frame: January 2021 to February 2022\, \, Allegations: Claimants allege unsuitability and overconcentration of certain investments, and that such investments resulted in principal losses. Claimants further allege misrepresentation with respect to the handling of Claimants’ investment accounts.

There are Recent Customer Complaints with Broker Deborah Jackman in Firm UBS Financial Services INC.

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Jackman (Jackman), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Jackman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 29, 2024.

Petitioner, the stepson and successor personal representative of his stepmother’s estate, alleges that Ms. Jackman exerted undue influence over the decedent, embezzled and alienated decedent’s property, and financially exploited the decedent.

There are Recent Customer Complaints with Broker Jake Long in Firm UBS Financial Services INC.

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jake Long (Long), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Long recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 14, 2025.

Time Frame: March 7th, 2025 to March 14th, 2025\, \, What were the allegations against the individual? The Executor of the account alleges the Financial Advisor failed to follow his instructions by not liquidating the account.

Broker Scott Rosenberg in UBS Financial Services INC. Firm Has Customer Complaint

June 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Rosenberg (Rosenberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Rosenberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $525,000.00 on June 21, 2023.

Time frame: Starting in or about 2016 to April 2023\, \, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

Broker Ortal Shachar in UBS Financial Services INC. Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ortal Shachar (Shachar), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Shachar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,669,477.49 on September 09, 2019.

Shachar was a subject of the customers’ complaint against his member firm that asserted the following causes of action: negligence, negligent misrepresentation, breach of fiduciary duty, breach of contract, negligent supervision, and violation of the Ohio Securities Act.